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Article NO. Content


Regulations Governing Responsible Persons and Associated Persons of Securities Firms  CH

Amended Date: 2020.10.26 (Articles 10 amended,English version coming soon)
Current English version amended on 2020.01.15 
Article 21     The FSC will reward or commend a responsible person or associated person of a securities firm for any of the following:
  1. Contribution of intellect and effort toward building securities market mechanisms, with distinguished results.
  2. Research or writing that contributes creative ideas to the development of the securities market or the implementation of securities business, when the ideas have been adopted and implemented.
  3. Reporting any illegal matter that is confirmed to be true.
  4. Service in the same securities firm for 15 consecutive years or longer with devotion to the job.
  5. Zealous work on behalf of the public interest and the exercise of team spirit, as proven through concrete achievements.
  6. Other achievements deserving of commendation.